U.S. Securities & Exchange Commission, Procurement And Contracts Branch, Mail Stop O-20, 6432 General Green Way, Alexandria, Virginia 22312

R -- INFORMATION ON CONSULTANT SERVICES USING GAME THEORY DUE 071599 POC Arza Gardner, Contract Specialist, (202) 942-4997 This is a request for information only, no contract will result from responses received for this RFI. The Office of Inspector General (OIG) of the Securities and Exchange Commission (Commission) is seeking informtion on consultants able to assist the OIG in determinining whether game theory can be used effectively in targeting regulatory inspections of broker-dealers, investment companies, and investment advisers. The OIG's purpose is to assess whether game theory applicaitons can improve the efficiency and effectiveness of inpsection resources. Assistance would consist of three primary tasks: conduct research; deliver a presentation; and participate in a workshop. The research task would invove gaining and understanding of how the Commission currently targets its examinations and inspections and identifying risk data that is available. This would entail interviewing Commission staff and reviewing available documents. A presentation made to Commission managers would include an overview of game theory and its potential applications to regulatory inspections. Participation in the workshop would invovle interacting with Commission managers and an OIG facilitator to determine potential obstacles to incorporating game theory analysis in targeting inspections. The SEC is seeking information from an individual, consultant or firm knowledgeable about game theory and its applications. Specific knowledge of inspection games is desirable. Experience working with Federal clients, particularly in regulatory environment is also desirable. The contractor must possess the unique skills required to collect and summarize data, present technical information clearly and consisely to non-technical audience, and respond to queries about applying theory to real life situations. OIG audit staff and Commission managers would provide subject matter expertise to complement the expertise of the consultant. Techinical questions should be directed to dudam@sec.gov. Posted 06/07/99 (W-SN339909). (0158)

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